iso 14001-18001 small business certification package sample page

Rev. 0 Copyright©2010 Lorne Duquette Distributed by www.18000store.com 1

The Implementation Workbook

****Integrating the

ISO 14001 and OHSAS 18001

Management Systems

http://www.18000store.com


The Implementation Workbook – Integrating the ISO 14001and OHSAS 18001 management systems__________________________________________________

Contents

Workbook cover page

Workbook contents page

Section 1

• The Preparation Phase

Section 2

• The Development Phase

Section 3

• The Implementation and Registration Phase

Notes:

This implementation workbook is suitable for use with the ISO 14001:2004Environmental and the OHSAS 18001:2007 Occupational Health and Safetystandards for management systems.

The workbook is best utilized with implementation training tools as provided in aseries of ppt presentations covering the three sections.Visit http://www.18000store.com for the presentation package that matches theworkbook sections.




The Implementation Workbook – Integrating the ISO 14001and OHSAS 18001 management systems__________________________________________________

Comments and Instructions:

Congratulations on the management decision to implement the integratedISO 14001:2004 environmental and OHSAS 18001:2007 occupational health andsafety management systems. This commitment and your participation say a lotabout you and show that you are interested in learning, in growing, and in improvingyour business.

This ISO 14001 and OHSAS 18001 workbook becomes an implementation tool andis intended to make your project as organized as possible when executing a set oftasks in the sequence that they are normally required on the journey to multiplecertifications.

An important first activity or prerequisite as the integrated Environmental and Healthand Safety program is launched, is for the EMS-OHS Management Representativeto become as familiar as possible with the workbook format and content.

The Workbook:

The workbook is presented in three sections where the Tasks and Exercises areintroduced, initiated and completed. You will find that your workbook can be usedand marked up to develop and detail the information required for each task andexercise.

The Workbook Forms:

However, since more than one person will be involved in the project, the workbookforms that represent the tasks and the exercises are provided in word format fordistribution to the staff that will be participating and providing inputs.

The Workbook Presentations:

The workbook is best utilized with the implementation training tools as provided in aseries of ppt presentations that match the workbook sections.The presentations become very effective tools that the EMS-OHS ManagementRepresentative, as the project manager, can use to keep the momentum movingtoward a target registration date.

Good Luck with this important initiative.



Task 12.c Perform the Initial OH&S Review – Plant Workplace__________________________________________________

The current position with regard to health and safety as related to the plant-manufacturing workplace is established by means of an initial review andrecorded from the review areas / questions tabled below.

Refer to the flow diagrams (ref Task 11) showing your plant operations to assist withthe location and identification of areas that need attention.

The examples outlined below do not list all the possible items for assessingmanufacturing facilities. A better checklist is one that covers your specific needs.

Reviewed by: Date:

Comments /Observations

OK =Under

Control

X =Needs

Attention

TRAINING

Is training provided for each person newlyassigned to a job?

Does initial training include a thorough review ofhazards and accidents associated with the job?

Is adequate instruction in the use of personalprotective equipment provided?

Is training for the use of emergency equipmentprovided?

Are workers knowledgeable in the "Right toRefuse" procedures?

ENVIRONMENT

Are resources available to deal with very hot orvery cold conditions (drinking water, linedgloves, insulated boots)?

Is the rain gear that is provided comfortable, andlight enough so as not to constitute a hazard?

Are work surfaces and grip surfaces safe whenwet?

Do workers know the symptoms of heat cramps,heatstroke?

WORK PROCESS


ISO 14001:2004

ENVIRONMENTAL MANAGEMENT SYSTEM

*****OHSAS 18001:2007

OCCUPATIONAL HEALTH AND SAFETYMANAGEMENT SYSTEM

*****EMS-OHS-001 MANUAL

Type Your

Company Name,

Address,

City, State, Zip

Here

This generic manual is to be used as a template in developing your Manual for theintegrated ISO 14001 Environmental management system and the OHSAS 18001:2007Occupational health and safety management system.Review the text and replace / revise it to match your Environmental and Health and Safetymanagement system requirements.

• Insert any other available information that would further enhance the companyintroduction, (preferably electronically).

At a minimum, the blue text should be replaced / revised with your information.“Your Company” indicates that you should use your company name in that spot.

• Use replace function – enter “Your Company” in find space, enter your companyname in replace space – system should make changes throughout the entiredocument.

In the header, replace the www.18000store.com name and logos with your company name andlogo.

In the footer, the inclusion of both the Green-Recycle and the Red-Safety Icons indicates thatthe document is relevant to both ISO 14001 and the OHSAS 18001 standards.

For example, in this manual, both the Green-Recycle and the Red-Safety Icons are included.

In the footer for procedures, instructions, forms and attachments required for the integratedEnvironmental and OH&S management system, a single Green Icon indicates a documentthat is specific to ISO 14001 and a single Red Icon indicates a document that is specificto OHSAS 18001.

Note that in addition to the above icon designations, the procedures and instructions aredistinguished as follows:

• The letters EH preceding a document number indicates that it is relevant to both

ISO 14001 and OHSAS 18001.

• The number 14 preceding a document number indicates that it is specific to ISO 14001.

• The number 18 preceding a document number indicates that it is specific to OHSAS18001.


www.18000store.com EM-HS-001EMS and OH&S Manual

EM-HS-001 EMS and OH&S Manual - Rev-1 Page 6 of 38

Date printed 10/19/10 2:08 PM

Section 1: Scope1.1 Scope of the EMS

General

The first section of the integrated manual outlines the policies, procedures andrequirements of the Environmental Management System. The system is structured tocomply with the conditions set forth in the International Standard ISO 14001:2004.

Application

Your Company defines and documents the scope of its Environmental ManagementSystem and includes what activities, operations, services and products are included inthe EMS.Describe the scope of your EMS:

For example:

The scope of the Environmental Management System includes the major product andservice categories associated with the primary functions of designing and manufacturingtoys at the Main Street location and preparing the product for the public at large.

1.2 Scope of the OH&S system

General

The next section of the integrated manual that follows the EMS section outlines thepolicies, procedures and requirements of the Occupational Health and SafetyManagement System.

The system is structured to comply with the conditions set forth in the InternationalStandard OHSAS 18001:2007.

Application

Your Company defines and documents the scope of its OH&S Management System andincludes what activities, operations, services and products are included in the OH&Ssystem.

Describe the scope of your OH&S management system:

For example:

The scope of the Occupational Health and Safety Management System includes themajor product and service categories associated with the primary functions of designingand manufacturing toys at the Main Street location and preparing the product for thepublic at large.





3.2 Occupational Health and Safety Management System DefinitionsThis section is for the definitions unique to Your Company.20

Review section 3 of the OHSAS 18001 standard and add, delete and revise definitionsas appropriate to your OH&S system.

The following definitions apply:

• Acceptable risk: Risk that has been reduced to a level that can be tolerated by theorganization having regard to its legal obligations and its own OH&S policy.

• Audit: Systematic, independent and documented process for obtaining audit evidenceand evaluating it objectively to determine the extent to which the Occupational Healthand Safety management system audit criteria set by the organization are fulfilled

• Ill health: Identifiable, adverse physical or mental condition arising from and/or madeworse by a work activity and/or work-related situation

• OH&S objective: OH&S goal, in terms of OH&S performance that an organization setsitself to achieve.

• Risk: Combination of the likelihood of an occurrence of a hazardous event orexposure(s) and the severity of injury or ill health that can be caused by the event orexposure(s).

• Etc, as required by Your Company





This section of theIntegrated Environmental and OH&S Manual

Covers theOHSAS 18001:2007

Occupational Health and SafetyManagement System





Section 4.3 Planning4.3.1 Hazard Identification, Risk Assessment and Determining ControlsYour Company establishes, implements, documents and maintains a system to identify healthand safety hazards, assess risks associated with them and determine the necessary controls. Aconsistent risk analysis process is used to identify hazards, assess risks, determine controls,implement controls, monitor & review and manage changes.As introduced in this OH&S section 4.3.1, the OHS procedure 18AP-431 is used to assist thecompany identify how its activities, products, and services affect health and safety by identifyingthe hazards, setting the priorities for them, using the OH&S system to manage, control, improveupon the performance and continually improve the system. It follows that high priority hazardsidentified become candidates for OH&S programs (4.3.3 below) and these are candidates foroperational controls (4.4.6 below).

4.3.2 Legal and Other RequirementsYour Company establishes, implements, documents and maintains a system for identifying andaccessing the legal and other requirements that are applicable and to explain how theinformation regarding its legal and other requirements is obtained.

As introduced in the EMS section 4.3.2, the EMS-OHS procedure EHAP-432 is used to identifythe legal and other non legal requirements to which the company subscribes, and describeshow the information is made known to relevant functions within the company and incorporatedinto the integrated EMS and OH&S management system.

4.3.3 Objectives and ProgramsYour Company establishes, implements, documents and maintains a system to ensure that theobjectives and targets are incorporated into the integrated EMS and OH&S system. Theobjectives and targets are consistent with the management system policies, which includes thecommitments to compliance with legal and other requirements, continual improvement, andprevention of pollution, and prevention of injuries and ill health.

As introduced in the EMS section 4.3.3, the EMS-OHS procedure EHAP-433 is used todescribe the process of setting the objectives and targets to achieve Your Company’senvironmental and health and safety commitments and objectives.

As introduced in this section of the OH&S manual, the OHS procedure 18MP-434 provides forthe development of the OH&S programs required to achieve the objectives and targets, andprovides for the process of developing action plans for those identified OH&S programs.

Programs that result focus on the fundamental health and safety needs to control OH&S risksand improve OH&S performance. The implementation of OH&S programs is effected with theuse of typical action plans and instructions where the responsible personnel, benchmarks,milestones and dates, and measurements of success are identified for:

• 18WI-434-010 prevention of injury,

• 18WI-434-020 prevention of ill health and

• 18WI-434-030 reduction of hazards.


ISO 14001:2004 Environmental Management System - The Gap AnalysisChecklist

Copyright©2009 14000Store.com Page 1

GUIDELINES FOR USE OF THE GAP ANALYSIS CHECKLIST_____________________________________________________________________

This gap analysis checklist is prepared for use in evaluating your EnvironmentalManagement System against the requirements of ISO 14001.

Each requirement is expressed as a question that the auditor can use to evaluate your EMScapabilities. Along with the checklist, you will need to have a copy of theISO 14001:2004 standard so that you can see exactly what the requirements are and canrefer to the guidance section in Annex A.

After you have prepared an audit schedule, and assigned responsibility to the auditors fordifferent areas to audit, copy each section of the checklist for the auditors working with thatsection. As the auditors work through the checklist, they need to take notes on what is inplace, and what needs to be developed.

Reference the procedures or other documents that are reviewed and that will provideinformation for the new EMS. Take notes on the status of the documents, will they need to berevised for the new system, or can they be used as is? Also note where processes are inplace, but documentation is needed.

Focus on what is in place, and what needs to be developed. While you do want to know ifprocedures and processes are being complied with, compliance is not your main focus forthis audit.

Remember that the final outcome of this audit should be a list of things that your organizationneeds to do to comply with ISO 14001:2004.

EnvironmentalManagement System

Manual

ISO 14001:2004

Type Your

Company Name,

Address,

City, State, Zip

Here

*This manual is to be used as a template in developing your ISO 14001 EnvironmentalManual.

Review the text; replace text to match your Environmental system requirements.

At a minimum, the blue text should be replaced with your information. “Your Company”indicates that you should use your company name in that spot.

Replace the ISO 14000 Store name and logo with your company name and logo.

NOTES: DELETE AFTER EACH TASK IS COMPLETED.

• USE REPLACE FUNCTION – ENTER “YOUR COMPANY” IN FIND SPACE, ENTERYOUR COMPANY NAME IN REPLACE SPACE – SYSTEM SHOULD MAKECHANGES THROUGHOUT THE ENTIRE DOCUMENT.

• (IF ANY OTHER INFORMATION IS AVAILABLE, THAT WOULD FURTHERENHANCE THE COMPANY INTRODUCTION, PREFERABLY ELECTRONICALLY,THIS IS THE AREA IN THE MANUAL TO INSERT THAT INFORMATION)

Environmental Manual

EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 3 of 25Copyright ©2010 the 14000 Store

Introduction

Your Company developed and implemented an Environmental Management System inorder to document the company’s best environmental business practices, better satisfy therequirements and expectations of its stakeholders and improve the overall management ofthe company.The Environmental Management System of Your Company meets the requirements of theinternational standard ISO 14001:2004 and addresses the environmental issues associatedwith YOUR COMPANY’s activities, operations, services and products.The manual is divided into ten sections that correlate to the Environmental ManagementSystem sections of ISO 14001:2004. Sections begin with a statement expressing YourCompany’s obligation to implement the basic requirements of the referenced EnvironmentalManagement System section. Each statement is followed by specific information pertainingto the procedures that describe the methods used to implement the necessaryrequirements.

This manual describes the Environmental Management System, delineates authorities, interrelationships and responsibilities of the personnel responsible for performing within thesystem. The manual also provides procedures or references for all activities comprising theEnvironmental Management System to ensure compliance to the necessary requirements ofthe standard.

The manual is used internally to guide the company’s employees through the variousrequirements of the ISO standard that must be met and maintained in order to ensureenvironmental stewardship, customer satisfaction, continual improvement and provide thenecessary instructions that create an empowered work force.

This manual is used externally to introduce our Environmental Management System to ourcustomers and other external organizations or individuals. The manual is used to familiarizethem with the controls that have been implemented and to assure them that the integrity ofthe Environmental Management System is maintained and focused on environmentalstewardship, customer satisfaction and continuous improvement.

President: Date: _______________

Environmental Manual

EMS-001 Rev A Date printed 5/20/10 2:07 PM Page 18 of 25Copyright ©2010 the 14000 Store

4.4.6 Operational ControlYOUR COMPANY establishes, implements, documents and maintains a system for theidentification of the critical functions related to the policy, significant aspects, the legal andother requirements, and objectives and targets. Operational controls describe operationsand activities where it is deemed that their absence could lead to deviations from theenvironmental policy and the objectives and targets.

The procedure MP-446 is used to establish, implement and maintain a system of operationalcontrol to ensure that the processes that affect the environment are carried out undercontrolled conditions. The required instructions provide sufficient details so that thecompany can conform to the policy, objectives and targets, the legal and otherrequirements, address any impacts from significant aspects and ensure that deviations fromplanned arrangements do not occur.The applicable system requirements are communicated to employees and to persons thatare required to perform tasks on behalf of the company or are required for temporary short-term activities.Depending on the nature of your business, operational controls may include workinstructions and systems for activities such as Design and development, Outsourcing andpurchasing, Maintenance of infrastructure, Gage control / Equipment calibration, Incominginspection, etc as required.

Design and development.If you are a developer, a designer or an inventor of products or services, the design anddevelopment instruction WI-446-010 outlines the controls for the design and developmentprocess. The instruction applies to the design control activities where environment-friendlymaterials and products are used and industry standard requirements incorporated.

Outsourcing and purchasing.If you purchase goods and sub-contracted services, the outsourcing and purchasinginstruction WI-446-020 outlines the controls for the purchasing process. Providers / Contractors / Persons that are required to perform tasks on behalf of the company that havethe potential to cause a significant environmental impact are qualified on the basis ofeducation, training, or experience. Selected candidates are engaged through a businessagreement and added to the list of acceptable sources after the satisfactory completion andreturn the environmental survey checklist.Infrastructure.If your facilities include physical infrastructure, the instruction WI-446-030 outlines thesystem where environmental controls are enhanced with properly maintained resources.Facilities resources incorporate the overall physical infrastructure aspects such as buildings,offices, laboratories, work areas, transport systems, equipment, telecommunicationssystems, storage, communication services, and other facilities.

Control of measuring and monitoring equipment.If you make use of measuring and monitoring equipment, whether employee owned,customer owned or company supplied, the instruction WI-446-040 outlines the systemwhere the control and calibration of such equipment enhance environmental controlsthrough credible monitoring and measurement (4.5.1) results.

Audit Conducted by: ___________________________________ Date: ____________________ 2

Copyright©2008 Lorne Duquette Distributed by the9000store.com

4 Environmental Management System4.1 General Requirements Observation/Comments Results

Has the organization established and maintained anenvironmental management system as required by clause 4 ofISO 14001:2004?

Has the organization defined and documented the scope of theEMS?

Are the boundaries to which the EMS applies clearly defined?

Are all activities, products and services within the scopeaddressed by the EMS?

Additional questionsTo prove that the organization ‘Does what it says it does’, whatrecords are completed for this section?

4.2 Environmental Policy

Has the environmental policy been formulated by the topmanagement?

Is the environmental policy aligned with the defined scope ofthe EMS?

Does the policy express commitment to compliance to legaland other requirements which relate to the environmentalaspects?

Has the environmental policy been communicated to allpersons working on behalf of the organization?

Additional questionsTo prove that the organization ‘Does what it says it does’, whatrecords are completed for this section?

4.3 Planning4.3.1 Environmental Aspects Observation/Comments Results

Has the organization established and maintained a procedure toidentify the environmental aspects for its activities, products orservices?

Can the organization control and have an influence on thoseactivities, products or services?

Has the organization determined which of those environmentalaspects have significant impacts on the environment?

Do the environmental aspects take into account the planning ofexisting conditions or new developments that are within thescope of the EMS?

Rev. 2Copyright©2010 Lorne Duquette Distributed by www.14000store.com

1

The Do-It-Yourself

ISO 14001 Workbook



2

Environmental Management System Workbook

Workbook cover page

Workbook contents page

Section 1: The Preparation Phase

Section 2: The Development Phase

Section 3: The Implementation and RegistrationPhase

Note:

1. This Environmental Management System Workbook is suitable for use withthe ISO 14001:2004 standards for environmental management systems.

2. This Environmental Management System Workbook is best utilized with ISOimplementation training tools as provided in a series of PPT presentations.Visit http://www.14000store.com for the presentation package that matchesthe workbook sections.




3

Environmental Management System Workbook

Comments and Instructions:

Congratulations on the management decision to implement the ISO 14001:2004 Environmentalmanagement system. This commitment and your participation say a lot about you and showthat you are interested in learning, in growing, and in improving your business.

This ISO 14001 Workbook becomes an implementation tool and is intended to make your ISOproject as organized as possible when executing a set of tasks in the sequence that they arenormally required on the journey to ISO 14001certification.

An important first activity or prerequisite, as the Environmental program is launched, is for theISO Management Representative to become as familiar as possible with the ISO 14001Workbook format and content.

The Workbook:

The workbook is presented in four sections where the ISO tasks and Exercises are introduced,initiated and completed. You will find that your workbook can be used and marked up to developand detail the information required for each task and exercise.

The Workbook Forms:

However, since more than one person will be involved in the ISO project, the workbook formsthat represent the tasks and the exercises are provided in word format for distribution to the staffthat will be participating and providing inputs.

The Workbook Presentations:

The ISO 14001 workbook is best utilized with ISO implementation training tools as provided in aseries of PPT presentations that match the workbook sections.The presentations become very effective tools that the ISO Management Representative, as theproject manager, can use to keep the momentum moving toward a target registration date.

Good Luck with this important initiative.



4

Building your ISO 14001

Environmental Management System




5


Responsibility: ManagementISO 14001 Steering TeamEnvironmental Safety Team

1) Management must identify the ISO 14001 steering team for the environmental project. It should be made up of managers from the different areas of the organization. The purpose of thisteam will be to assign resources and responsibilities for the project as well as providingleadership for the project. Include top management on the team.

2) Once the steering team has been identified, the team can work together to complete theassigned tasks for the workbook section 1. This section helps you prepare for the project andput together the project plan and timeline.

Task 1: Management Describe your company

Task 2: Management Choose your ISO Management System

Task 3: Management Obtain the latest ISO 14001 standard

Task 4: Management Select the Management Representativeand the ISO 14001Steering Team

Task 5: ISO Steering Team Prepare an Organizational Chart

Task 6: ISO Steering Team Establish the Environmental Safety Team

Task 7: Environmental Safety Team Conduct First Team Meeting

Task 8: ISO Steering Team Formulate the Environmental Policy

Task 9: ISO Steering Team State the scope of the EMS

Task10: ISO Steering Team Provide Communication Tools

Task11: Environmental Safety Team Prepare the process flow diagrams

Task 12: ISO Steering Team Perform initial environmental review

Task 13: ISO Steering Team Assign Improvement Actions for EMS



18

Task 12 Perform the INITIAL ENVIRONMENTAL REVIEW

The current position with regard to the environment is established by means of an initial reviewand recorded from the review areas / questions tabled below.

Review Areas

Organization Structure (Department personnel and structure chart)

1. General Information Comments OK NeedsAttention

Current activities / processes / products (List activities or provide processflow)

No. of employees

Environmental coordinator

Type of facilities (Office / lab / workshop / warehouse / others)

Type of plant(s) / machinery(List of plant / machinery utilised)

Types of goods provided by majorsuppliers

(List of major suppliers and theirproduct type)

Types of services provided by majorcontractors

(List of major contractors and theirproduct type)

Any future activities / services



51

Assign IMPROVEMENT ACTIONS needed to increase your EnvironmentalCapabilities - Ref Task 13

Assessments and reviews, Tasks 12, 15, 16 & 18 highlight areas that need attention and providefocus on high significance environmental impacts and legal requirements.

The areas that require follow up and action by the ISO steering team are identified as:

• ___ Short Term, where improvements can be implemented within 1 month.• ___ Medium Term, where improvements can be implemented within 2 to 6 months.• ___ Long Term, where improvements can be implemented within 7 to 12 months.

SHORT TERM IMPROVEMENT ACTIONS – To be implemented within 1 month

# Improvement Action Assigned to PromiseDate

ActualDate

Comments

1234

MEDIUM TERM IMPROVEMENT ACTIONS – To be implemented within 2 to 6 months


ActualDate

Comments

1234

LONG TERM IMPROVEMENT ACTIONS - To be implemented within 6 to 12 months


ActualDate

Comments

1234

Comments:---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------


Copyright ©2009 Lorne Duquette for the 14001 Store

Trainer’s Guide


OverviewThese course materials are meant to train people to conduct internal environmental auditswithin your organization, which are necessary to meet the internal audit requirements of theISO 14001:2004 standard.

The course is divided into two sections:

1. The first section will familiarize the students with the requirements ISO 14001environmental management system.

• Allow 4 hours for this section.

2. The second section is devoted to the auditing process. The students will go throughall the steps required for an audit, with hands on involvement in performing eachstep by conducting a mock audit of a fictitious company.

• Allow 8 hours for this section.

This guide contains everything the instructor needs to lead the class. We recommend thatyou print this guide as you’ll need the PowerPoint speaker notes to lead the class.

Notes:

• It is assumed that the instructor has certified Lead Auditor credentials or equivalentexperience. This is not meant as a self study course.

• It is recommended that the first audit the student is involved with be under theleadership of a lead auditor who has audit experience.

Copyright ©2009 14001 Store

Course MaterialsThe supplies you will need are:

• PowerPoint: ISO 14001 Guide to Internal Audits (included).

• PowerPoint: Requirements of ISO 14001 (included).• A complete version with Speaker Notes is in this Trainer’s Guide

• PowerPoint: Steps of Internal Audit (included).• A complete version with Speaker Notes is in this Trainer’s Guide

• Student Manual (included).• Print one copy for each student• You may wish to have extra copies of the CPAR form• It includes reduced versions of all the PowerPoints

• The ISO 14001:2004 Standard (NOT Included*)• One copy for every 2-3 students.• Standards are available electronically from

http://www.14000store.com/Buy_standards.aspx

*The ISO 14001:2004 Standard is a copyrighted document and we are unable to include it.

• Eco Toy Company (ETC) Documents and Records (included).• Print one copy for each team of two or three students.• See contents table (next page)

The purpose of the internal audit is to demonstrate that ETC is doing what the companysays it does. Documents and records are required to prove that systems are in place.These copies are provided in the Eco Toy Company (ETC) Documents and Records file.

Pages 3 through 14 in ETC Documents and Records contain the documentation thatmakes up the introductory section of the ETC Environmental Management System. Theremaining pages contain the ETC Documentation and Records required for the InternalAudit training.

http://www.14000store.com/Buy_standards.aspx


Eco Toy Company Documents and RecordsQty. Documents and Records # of Pages

1 Environmental Management System – EMS Manual …………. 12Includes Organization Chart and Master Document List

1 Internal Audit Master Schedule ………………………………………..… 1

1 MSP-431 Environmental aspects procedure …………………………… 2

1 Form #431-1 Initial environmental review ……………………………… 2

1 Form #431-1 Environmental assessment worksheet …………………. 2

1 WI-EP-1, WI-EP-2, WI-EP-3 Environmental programs …………….….. 3

1 MSP-442 Competence, training and awareness procedure …….……. 3

1 Form #442-2 Job interview evaluation worksheet ……………………… 1

2 Form #442-3 Personnel training / evaluation record ………………. .... 2

2 Certificate of completion ……………………………………………….….. 2

1 Form #442-4 employee capability – competence matrix………………. 1

1 MSP-453 Nonconformity, corrective and preventive action …………… 3

1 R-451 Nonconformity register ………………………………………….… 1

1 Form #443-1 Public response report ……………………………………. 1

2 Form #447-1 Spill investigation report …………………………………... 2

1 Form #453-1 Environmental non-conformance report …………………. 2

1 Form #453-2 Corrective action report –operations ……………………… 1

1 MSP-460 Management review procedure ……………………………….. 2

1 Form #460-1 Meeting agenda - management review …………………... 1

1 Minutes of management review …………………………………………… 2


Agenda

I. The Standard

Introduction to auditing0:15 Presentation: 14001 Internal Auditing Guide0:15 Review Document: ISO 14001:20040:30 Exercise – Is it a requirement?2:00 Presentation: Requirements of ISO 14001:20040:45 Exercise - Find the requirement0:15 Questions

II. The Audit

0:30 Scheduling the audit0:30 Planning the audit0:45 Opening meeting0:45 Audit 4.2 Environmental policy0:45 Audit 4.3.1 Environmental aspects0:45 Audit 4.4.2 Competence, training and awareness0:45 Audit 4.5.3 Nonconformity, corrective action and

preventive action0:45 Audit 4.6 Management review0:30 Auditors Document the Findings0:30 Final Audit Report0:30 Closing Meeting0:30 Creating the Audit File


The StandardIntroduction to Auditing

This section will familiarize the students with the requirements ISO 14001:2004environmental management system (EMS).

1. Review the “ISO 14001 Internal Auditing Guide” Power Point Presentation with thegroup.

2. Review and discuss the organization of the ISO 14001:2004 document so thestudents can familiarize themselves with how the standard is structured.

3. Complete the exercise “Is it a Requirement?”

Exercise: Is it a Requirement?

Have the students open to “Is it a Requirement” in the student manual.Working in groups of 2 or 3, have them determine whether or not:

• The statement is true or false• Write down the clause of the standard where they found it.

Notes:• This is not a test, but an exercise to get them familiar with the standard, so the

trainer can go around and help the teams, particularly the slower teams.• This can be done individually ahead of time to reduce class time

After one or two teams finish, or after a maximum of about 45 minutes, you can go throughthe statements and discuss the answers.

• An answer key is on the next page.• Remind the students that there are some things that are mentioned in more that one

place in the standard, so there could be more than one correct answer in somecases.


Is it a Requirement? (Answer Key)

The standard requires that: If the requirement is true, circle True and list theclause. If it is false, circle False and list the clause used.

True False

1. The ISO 14001 Environmental management system(EMS) must be established, documented, implementedand maintained to continually improve the system

TClause:4.1

FClause:

2. The environmental policy as defined by topmanagement is required to be communicated to allpersons working for or on behalf of the company.

TClause:4.2.f

FClause:

3. Top management must appoint a representative toensure that the EMS is established, implemented andmaintained.

TClause:4.4.1.a

FClause:

4. The management representative is not required toreport on the performance of the EMS to topmanagement.

TClause:

FClause:4.4.1.b

5. Internal and external communication regardingenvironmental matters must be maintained.

TClause:4.4.3

FClause:

6. Management must review the environmentalmanagement system every quarter.

TClause:

FClause:4.6

7. A written procedure is needed to identify theenvironmental aspect(s) of the company activities and todetermine the aspect(s) that have significant impact(s)on the environment.

TClause:4.3.1

FClause:

8. Persons performing tasks for the company or onbehalf of the company that may have potentialenvironmental impacts must be competent.

TClause:4.4.2

FClause:

9. Employee training must include the awareness of theconsequences of departure from specified procedures.

TClause:4.4.2.d

FClause:

10. The scope of the environmental managementsystem is required to be defined and documented.

TClause: 4.14.4.4.b

FClause:

11. A documented procedure is required to deal withactual and potential nonconformities and takingcorrective and preventive actions.

TClause:4.5.3

FClause:

12. A documented procedure is required to handleemergency preparedness and response.

TClause:4.4.7

FClause:

13. The results of corrective and preventive actionstaken do not need to be recorded.

TClause:

FClause:4.5.3.d

14. An operational procedure may be required to ensurethat monitoring and measuring equipment is calibrated.

TClause:4.5.1

FClause:


ISO 14001:2004 Requirements

Now that the students are familiar with the organization of the standard, this section willoutline the requirements of each section – what it is really asking them to do?

Requirements of ISO 14001:2004 Power Point presentation

First, there is a brief 6-page introduction to serve as a review:• What is ISO 14001?• The Process Model/Process Approach

Second, the rest of this presentation outlines the requirements of ISO 14001.• If you use the speaker’s notes this review could take about 2 hours• Students can take notes in their manual.• We’ve included the presentation in this Trainer’s Guide so you can review the notes

while presenting.

1. Review “Requirements of ISO 14001:2004” Power Point presentation2. Complete the exercise “Find the Requirement” (following presentation speaker notes.)3. Answer questions about ISO 14001:2004 to ensure they understand the material.

Exercise: Find the Requirement.

1. Introduce the 2nd exercise “Find the Requirement” in the student manual.2. Have them find the clause in the standard that applies.3. Have them work in groups as in the previous exercise.4. Discuss the answers together.

To conclude this first section of the course, open it up to questions and answers on thestandard.

8


4.1 General Requirements

• Introduces the requirements for the overallEnvironmental Management System

• The standard requires that your organization hasan Environmental Management System in placethat meets the requirements outlined in thestandard.

• The scope of the EMS needs to be defined.

+ More details ..

ENVIRONMENTAL MANAGEMENT SYSTEMYOUR COMPANY executive management is responsible to establish,implement and maintain the ENVIRONMENTAL MANAGEMENTSYSTEM and to define and document the policy and objectives for andcommitment to the environment as described in this EMS Manual.YOUR COMPANY defines and documents the scope of itsEnvironmental Management System and includes what activities,operations, services and products are included in the EMS.For example:The scope of the Environmental Management System includes themajor product and service categories associated with the primaryfunctions of manufacturing toys and preparing the product for the publicat large.

While it is every one’s job to protect the environment, the overallleadership for the EMS is provided by the top ranking official, such asthe President.The prime responsibility for the EMS procedures and instructions isdelegated and assigned and shared with the managers and supervisorsof the relevant functions.

33


Management reviews are needed to ensure that theEMS continues to be adequate, suitable and effective.

At planned intervals reviews are required to review,

For example:• the Environmental Policy• the performance data for EMS processes• the opportunities for improvement & need for changes

+ More details ..

+ More details ..MANAGEMENT REVIEWA procedure is required to provide for a system of assigning

responsibilities for scheduling, conducting and recordingmanagement review of the Environmental ManagementSystem at YOUR COMPANY.

Management reviews of the EMS is intended to improve thequality of the environmental activities that lead to improvedperformance by the company for interested parties.

The executive management reviews the EMS at plannedintervals.

The President has the prime responsibility for managementreviews.


Find the Requirement

Clause:

19. Current versions of documents must be available at therelevant points of use. 4.4.5.c.d

20. Have a system to monitor on a regular basis the keycharacteristic that can have a significant impact and ensure thatmonitoring and measuring equipment is verified, calibrated andmaintained.

4.5.1

21. Responsibility and authority of personnel are defined,documented and communicated.

4.4.1

22. Operational procedures for situation where their absence couldlead to deviation from planned arrangements.

4.4.6.a

23 Review the environmental system at planned intervals and takeinto consideration a set of inputs with resulting outputs.

4.6

24. Resources need to be available to establish, implement,maintain and improve the EMS.

4.4.1

25. Environmental programs with objectives and targets at therelevant functions and levels within the organization.

4.3.3

26. Document a procedure to deal with actual and potentialnonconformity and taking corrective action and preventive action.

4.5.3

27. Document a procedure to deal with potential emergencies andpotential accidents and how to respond to them.

4.4.7

28. Periodic evaluation of compliance to the applicable legalrequirements and other requirements to which the companysubscribes.

4.5.2

29. Internal audits take into consideration the environmentalimportance of the operations and the results of previous audits.

4.5.5

30. The Environmental Management System documentationincludes documents for the environmental policy, objectives,targets, scope, and other procedures and records necessary toensure that it is effective.

4.4.4.ato4.4.4.e


The AuditThe second section is devoted to the auditing process. Normally the class size will varyfrom 4 to 12, and it is recommended that you divide the class into teams of 2-3. It worksbest to have an even number of teams for holding opening and closing meetings.

Allow 8 hours for this section.

The students will go through all the steps required for an audit, with hands on involvementin performing each step by conducting an audit of a fictitious company, the Eco ToyCompany (or ETC) including:

• Scheduling the Audit• Planning the Audit• Opening Meeting• Audit sections of the ETC Company’s EMS:

• 4.2 Environmental Policy• 4.3.1 Environmental Aspects• 4.4.2 Competence, training and awareness• 4.5.3 Nonconformity, corrective action and preventive action• 4.6 Management review.

• Auditors Document Findings• Final Audit Report• Closing Meeting• Creating the Audit File

Note: The trainer plays the part of Joe Sample, the ETC Quality Manager / EMSManagement Representative and the students act as ETC personnel as required.

Each team should have:1. A copy of the ISO 14001:2004 Standard.2. A copy of the Eco Toy Company (ETC) Documents & Records.3. The Student Manual which allows them to:

• Follow the presentation and take notes• View sample forms (which are presented in the PowerPoint)• Use blank forms (CPAR, etc.) to conduct their audit.

You will lead this section using the “Steps of ISO 14001:2004 Internal Audit” Power Pointpresentation the entire time, using the materials in this package. The Speaker Notes in thePowerPoint will guide you along as an outline.

1

Audit of the Eco Toy CompanyAudit of the Eco Toy Company


6

Schedule the AuditSchedule the AuditMemo

To: Expert Audit Assistance

From: J. Sample

Date: Jan 5, 2009

Subject: Request for Internal Audit

As we discussed on the phone, our company will be having aregistration audit in September 2009. We have developed and areimplementing our environmental management system and are readyfor our first of a group of planned internal audits and would like yourgroup of expert auditors to perform the audits for us before ourregistration audit.

During the first audit we would like the auditors to audit a minimumof one section for each of the five clauses (4.2, 4.3.1, 4.4.2, 4.5.3, 4.6)of the standard. The remaining clauses of the ISO 14001:2004standard will be audited during subsequent internal audits.

I would like you to come in on January 8th to review our audit filesand prepare your audit plan. We will schedule the audit for themorning of January 15th.

Best regards

Joe

QA Manager / EMS Management representative

Review the MEMO from Joe Sample, the Eco Toy Company’s Quality Manager /EMS Representative to “Expert Audit Assistance”.

The class is “Expert Audit Assistance”.It is now September 12th, and the class is going to perform an internal audit of Eco

Toy Company’s management’s area.

27

• The environmental policy has not been communicated toall persons working on behalf of the organization

• The environmental policy was not formulated by the topmanagement

• The environmental policy is not aligned with the definedscope of the EMS

• The policy does not express commitment to compliance tolegal and other requirements to which the organizationsubscribes to.

Nonconformances: 4.2 Environmental policy

•The environmental policy was not formulated by the top management•The environmental policy is not aligned with the defined scope of the EMS•The policy does not express commitment to compliance to legal and otherrequirements to which the organization subscribes to.•The environmental policy has not been communicated to all persons workingon behalf of the organization


ConclusionAfter the students have completed their presentations, you can:

1. Show them the final slides in the “Steps of ISO 14001:2004 Internal Audit” PowerPoint presentation outlining the non conformances for each section.• Remember, there is often more than one way to look at a situation, especially in

a fictitious setting like ETC. Therefore, encourage open discussion on why theyconsider items a non conformance.

• You may want to add their suggestions to the course material for next time.

2. If you feel that the student has satisfactorily understood the material, you may issuethem a certificate (this is a separate MS Word file in your package). Use yourjudgment to issue this based upon:• Participation• Ideas• Leadership• Approach• Etc.

3. Schedule an audit of your facility to reinforce the material.

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